Job Classification:
Corporate - Legal and CompliancePGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc. is seeking a Portfolio Compliance Risk Surveillance Analyst. PGIM Fixed Income has approximately $776 billion in assets under management as of June 30, 2023, with a broad array of fixed income strategies and client types including institutional separate accounts, sub-advised mutual funds, CLOs, offshore and onshore commingled and separate client accounts.
PGIM Fixed Income has a strong commitment to its customers, including mutual fund investors, corporations, public retirement funds, Taft-Hartley plans, sovereign wealth funds, insurance companies, foundations, and endowments.
The Portfolio Compliance Risk Surveillance Analyst role is a member of the Investment Guidelines Team which is embedded directly in the PGIM Fixed Income business and interacts with Trading, Client Services, and Operations daily. The Investment Guidelines Team is responsible for ensuring that PGIM Fixed Income portfolios are managed in accordance with applicable regulatory, internal, and contractual requirements. The Investment Guidelines Team uses BlackRock Solution’s Aladdin investment management platform as the primary compliance monitoring system. This is an exciting, fast-paced, and deadline-driven environment, which requires excellent interpersonal and time management skills.
The current EWA for this position is Hybrid and requires your on-site presence on a reoccurring basis as determined by your business. Your manager will provide additional details relative to the specific number of days you are expected to be on-site.
What you can expect:
Monitor automated fixed income portfolio investment guidelines using Aladdin as well as manual processes where required
Research potential violations by partnering with Data, Client Service, Portfolio Management and Operations teams as needed
Prepare client certifications and other reporting
Respond to ad hoc compliance requests regarding portfolios and trading
Work on various transformation projects
What you’ll need:
Knowledge of financial markets and ability to learn the nuances of fixed income markets
Interest or experience with the BlackRock Solutions’ Aladdin system or comparable technology skills such as advanced Microsoft Excel skills (e.g. VBA), SQL, Python, Perl, etc are preferred but NOT required
Strong data analysis skills with the ability to gather and draw actionable conclusions from that data
Excellent written and verbal communication skills, organizational skills, and attention to detail
It’d be a plus if you had:
Understanding of key business risks, marketplace and regulatory environment
Ability to lead organizational transformation in areas of effectiveness and improvement
Understanding of customer needs and challenges
Ability to collaborate in a fully inclusive and transparent manner
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What we offer you:Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $53,000.00 to $87,600.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.Market competitive base salaries, with a yearly bonus potential at every level.
Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.
401(k) plan with company match (up to 4%).
Company-funded pension plan.
Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.
Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.
Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.
Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service.
Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.
Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.
Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law.
If you need an accommodation to complete the application process, please email [email protected].
If you are experiencing a technical issue with your application or an assessment, please email [email protected] to request assistance.
Skills Required
- Knowledge of financial markets and fixed income markets
- Interest or experience with BlackRock Solutions' Aladdin or advanced technology skills
- Strong data analysis skills
- Excellent communication and organizational skills
PGIM Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about PGIM and has not been reviewed or approved by PGIM.
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Healthcare Strength — Health coverage includes comprehensive medical, dental, and vision options, complemented by behavioral health programs and wellness reimbursements. On-site fitness centers and health coaching further support physical and mental well-being.
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Retirement Support — Retirement programs feature a 401(k) with company match and a company-funded pension, with access to an employee stock purchase program. Student loan repayment assistance and savings plans add to long-term financial support.
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Wellbeing & Lifestyle Benefits — Work-life balance is reinforced by flexible/hybrid work options, paid holidays and sick allowances, and amenities like gym access, free parking, and an affordable cafeteria in some locations. Tuition reimbursement, commuter benefits, and broad work/life resources extend lifestyle support.
PGIM Insights
What We Do
PGIM, the investment management business of Prudential Financial, Inc.* is a multi-manager that delivers industry-leading strategies and solutions to clients. Each business maintains its own investment process and culture, allowing for a singular focus on delivering investment returns for clients. The PGIM businesses offer investors a wide range of investment strategies across asset classes and geographies, including public equities, public and private fixed income, commercial mortgages and real estate. Clients of PGIM can rely on superior long-term performance, risk management expertise and innovative products to help them realize a wide range of business objectives. In addition, PGIM uses its collective knowledge and business expertise to work with public, private and non-profit sector partners to create solutions that address critical social issues that have an enduring impact. *Prudential Financial, Inc. of the United States is not affiliated in any manner with Prudential plc, incorporated in the United Kingdom or with Prudential Assurance Company, a subsidiary of M&G plc, incorporated in the United Kingdom.
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